. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment

Exchange Act 2535   116 12/03/1992 16/05/1992 5. Notification of Capital Market Supervisory Board  Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products

extension together with supporting reasons for the SEC’s consideration. Furthermore, this situation may prevent clients who are required to post additional margin for derivatives trading on Friday, 28 March

of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being

be deposited by clients as the (Unofficial Translation) Page 2 of 2 margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the

derivatives agent, the amount of property required to be deposited by clients as the (Unofficial Translation) Page 2 of 2 margins for their outstanding derivatives positions shall be in accordance with the